For Recruiters

Compliance Assistant Manager / Manager - Regulatory Licensing

Haitong International Securities Group Limited
Hong Kong
Posted about 23 hours ago Permanent Competitive
D
Posted by
Derek Leung
Recruiter
Haitong International Securities Group Limited (“Haitong International”: Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China. Haitong International is well-established to provide comprehensive and quality corporate finance, wealth management, asset management, fixed income, currency and commodities (FICC), institutional equities and a full spectrum of financial products and services to institutional clients and individual investors domestically and around the globe.

The Job:

  • Responsible for the licensing of intermediaries and individual licensees, handling of their fit and proper issues;
  • Working in close cooperation with other team heads to ensure that the functions of the Licensing Department are performed in a consistent, efficient and transparent manner;
  • Ensuring that matters with potential regulatory issues are promptly identified and raised to an appropriate level for consideration;
  • Identifying areas in relation to which policy or reform initiatives are required and assisting in the formulation and implementation of appropriate policies or reforms related to Licensing;
  • Providing management solutions to enhance our operational efficiency, effectiveness and transparency; and
  • Cultivating and maintaining constructive relationships with market participants and colleagues within the Commission.

Requirements:

We support local hire with solid relevant working experience in HK.

  • Bachelor degree or above;
  • At least 3 years of working experience in SFC licensing advisory and application within banking industry;
  • Previous experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply;
  • Pragmatic, proactive and diligent with strong determination to understand thoroughly about contentious issues and the ability to resolve them accordingly;
  • Good communication, interpersonal and influencing skills.
Job ID  EFC/CP/RL/AM_M
More jobs From Haitong International Securities Group Limited
Haitong International Securities Group Limited
Executive Director - Finance
Haitong International Securities Group Limited
Hong Kong
6 days ago Full time Competitive
Haitong International Securities Group Limited
UI, UX and Front-end Web Architect
Haitong International Securities Group Limited
Hong Kong
2 days ago Full time Competitive
Haitong International Securities Group Limited
Manager to Vice President - HR Business Partner, Human Resources
Haitong International Securities Group Limited
Hong Kong
about 24 hours ago Full time Competitive
Haitong International Securities Group Limited
Human Resources Manager (Campus Recruitment)
Haitong International Securities Group Limited
Hong Kong
5 days ago Full time Competitive
Haitong International Securities Group Limited
Vice President - Investment Reporting, Finance
Haitong International Securities Group Limited
Hong Kong
5 days ago Full time Competitive
Haitong International Securities Group Limited
Graduate Trainee Program 2022
Haitong International Securities Group Limited
Hong Kong
4 days ago Full time Competitive